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Updated by maddoxotis on Apr 17, 2017
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maddoxotis maddoxotis
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Recover Investment Losses

Broker-dealers and connected persons have three main suitability obligations. First, the reasonable-basis obligations requires that there be a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. Second, the customer-specific obligation requires that there be a reasonable basis to believe that the recommendation is suitable for a particular customer based on that customer's investment profile.

GALVIN LEGAL, PLLC

GALVIN LEGAL, PLLC is a full service securities litigation, arbitration, and mediation law firm.